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Taiwan Stock Exchange Corporation Guidelines for Reporting by Securities Brokers of Brokerage Sale of Securities Not Owned by the Principal  CH

Amended Date: 2015.01.22
1     These Guidelines are adopted pursuant to Article 82-of the Operating Rules of the Taiwan Stock Exchange Corporation.
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2     A securities broker receiving a brokerage order to sell registered securities which has never been transferred or registered securities which have been transferred and for which transfer registration procedures have been carried out with the issuing company and which meet conditions set forth in paragraph of Article 82-1 of the Operating Rules the Taiwan Stock Exchange Corporation, where the principal is not the owner of the securities, shall request the owner to fill out a an order form for the brokerage sale of the securities, and shall report to the Taiwan Stock Exchange Corporation ("the TWSE") in accordance with the following rules:
  1. Computer transmission:
    The securities broker shall enter the information from the brokerage order form filled out by the owner of the securities into the TWSE computer system prior to 6:00 p.m. on the day of the transaction.
  2. Information to be entered:
    The securities broker shall enter each item of information corresponding to the fields on the TWSE computer interface.
  3. Accidental breakdowns:
    When accidental breakdowns prevent transmission of information over the computer transmission lines, the securities broker shall immediately notify the TWSE by telephone, and shall produce a written copy of the information to be entered, stamped with the seal of the company and the company's responsible person. The copy shall first be faxed to the TWSE or delivered by a specially assigned person as the basis for entry of the data by the TWSE. A report of the reasons for the breakdown and the method of its handling shall also be recorded and kept on file.
  4. Late reports:
    Late reports of brokerage order forms shall be faxed to the TWSE prior to 6:00 p.m. on the second day following the date of the transaction; the TWSE will enter the information on behalf of the broker. The TWSE may, depending on circumstances, handle the matter in accordance with Article 4 of these Guidelines.
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3     The broker shall retain the aforesaid brokerage order form along with the settlement documents for its files.
4     When the securities broker does not report the consignment within the specified time period or the report is in error, the matter may be handled in accordance with the provisions of the Operating Rules of the Taiwan Stock Exchange Corporation.
5     These guidelines shall take force upon approval by the competent authorities.